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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2007-04-18
CA RA APPROVED 2005-02-22
  • TX RA
    APPROVED_RES
    Since 2007-04-18
  • CA RA
    APPROVED
    Since 2005-02-22

Branch Locations

300 E Esplanade, Oxnard, CA 93036 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oxnard CA 09/2004 Present
Bank Of America, Na Oxnard CA 09/2009 Present
Other Businesses

I*76214FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: HELP U RENTINVESTMENT RELATED: NOADDRESS OF BUSINESS: FILLMORE, CALIFORNIA 93015POSITION, TITLE, ASSOCIATION: OWNERSTART DATE OF RELATIONSHIP: 10/21/2014NUMBER OF HOURS DEVOTED: 2 HOURS MTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: TENANT REFERRAL AND RENTAL SERVICE FOR PRIVATE PROPERTY OWNERS WITH 1-3 UNITS TOTAL. HAVE OWNED AND OPERATED HUR SINCE 1997.I*50085For profit or not for profit: Governmental or Public Purpose EntityName of outside business organization: Ventura County Fair BoardInvestment related: NoAddress of business: Ventura, California 93001Nature of business: Manage affairs of Ventura County Fairgrounds,Position, title, association: DirectorStart date of relationship: 2/28/2012Number of hours devoted: 3 hours MthlyNumber of hours devoted during trading hours: 1Duties: Assist in management of affairs of FairgroundsI*37781For profit or not for profit: Non-Profit OrganizationName of outside business organization: Worldmark, The ClubInvestment related: NoAddress of business: Redmond, Washington 98052Position, title, association: DirectorStart date of relationship: 1/1/2011Number of hours devoted: 3 hours MthlyNumber of hours devoted during trading hours: 1Duties: Appoint & remove club officers, agents & employees, delegate authority to a managing agent, conduct, manage & control the affairs & business of the Club, promulgate rules & regulations re conduct of Club business, behavior of members/guests, use of resortI*: 2620271Entity Type: Rental Property Name of OBA: Rental Property 1Address: Fillmore, CA 93015Investment Related: NoPosition, Title, Association: Co-owner with other family membersEmployee Start Date: 07/01/2025Number of Hours: 1 hr mthlyNumber of Hours during trading: 0 Duties: Co-owner with other family members/ Rental PropertyI*3090279Entity Type: Name of OBA: Rental Property 2Address: California, 93015Investment Related: NoPosition, Title, Association: Sole ownerEmployee Start Date: 07/01/2025Number of Hours: 1, MonthlyNumber of Hours during trading: 0, MonthlyDuties: I*3755398 Entity Type: N/A Name of OBA: Valley View Home Owners Association Address: Fillmore, California, 93015 Investment Related: No Position, Title, Association: Board Member Employee Start Date: 01/22/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: Govern the activities, rules and regulations of the home owners association and its related owner group of 26 condominium units. Member at Large - The member at large is the fifth member of the Board of Directors and is a voting member of the board. The member at large fulfills duties as assigned by the President or by the board.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-18
  • S66 Uniform Combined State Law Examination
    2005-02-18
Other Names
  • Maria Cecilia Cuevas
  • Maria Cecilia Tacus
  • Maria Cecilia Cuevas
  • Cecilia Cuevas
  • M. Cecilia Cuevas

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